Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)
Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook
Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
